DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

T•••••••• C•••••• M••••••••• I••

Former SEC-registered adviserWatkinsville, GeorgiaCRD 110237SEC 801-57008IAPD
Latest filing Feb 9, 2015
First filing on the tape Mar 14, 2012 · 22 filings
RAUM
$131M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$131M as of Feb 9, 2015
Mar 14, 2012$101M then
HNW client RAUM: no history
State-registered IARs (5.B.3)10 as of Feb 9, 2015
Feb 8, 20137 then
Employees (5.A)11 as of Feb 9, 2015
Feb 8, 20137 then
Private funds: no history
RAUM +31% over the last fiscal year+9.2% a year over threeIARs 4 to 10
Practice profile
derived from the filing of Feb 9, 2015; every figure names its basis
RAUM per advisor
$13.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$714,517derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
1.7derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+31%derivedbetween the last two annual amendments
Advisor growth, one year
+150%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
184reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • B••••••• D•••••• L••••••• · Principalcontrol
      since 01/2011 · owns 50% to 75%
    • E•••••••• J•••••• G••••• · Chief Executive Officer, Chief Investment Officercontrol
      since 01/2011 · owns 25% to 50%
    • P•••• K••••••••• M•••••• · Chief Compliance Officer, Director Of Operationscontrol
      since 02/2015 · owns less than 5%
    • A•••••••• A••• C•••••• · Shareholder
      since 12/2014 · owns 5% to 10%
    • M••••• J•••••• G•••• · Owner
      since 08/2013 · owns 5% to 10%
    • M••••• M•••••• · Owner
      since 08/2013 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • Orem, UT
    • ,
    What changed
    consecutive filings, newest first
    • Accounts · 168 to 184
      Jan 13, 2015 to Feb 9, 2015
    • Advisory employees · 7 to 4
      Jan 13, 2015 to Feb 9, 2015
    • Employees · 12 to 11
      Jan 13, 2015 to Feb 9, 2015
    • State-registered IARs · 7 to 10
      Jan 13, 2015 to Feb 9, 2015
    • Discretionary RAUM · $100M to $131M
      Jan 13, 2015 to Feb 9, 2015
    • RAUM · $100M to $131M
      Jan 13, 2015 to Feb 9, 2015
    • Succession · false to true
      Jan 13, 2015 to Feb 9, 2015
    • Advisory activities · 4 to 5
      Jul 1, 2014 to Sep 25, 2014
    • HQ city · BOGART to WATKINSVILLE
      Jun 17, 2014 to Jul 1, 2014
    • Advisory employees · 4 to 7
      Mar 31, 2014 to Apr 22, 2014
    • Employees · 11 to 12
      Mar 31, 2014 to Apr 22, 2014
    • State-registered IARs · 4 to 7
      Mar 31, 2014 to Apr 22, 2014
    • Accounts · 171 to 168
      Jan 9, 2014 to Mar 31, 2014
    • Advisory employees · 5 to 4
      Jan 9, 2014 to Mar 31, 2014
    • Employees · 7 to 11
      Jan 9, 2014 to Mar 31, 2014
    • Financial planning clients · 1-10 to unset
      Jan 9, 2014 to Mar 31, 2014
    • State-registered IARs · 5 to 4
      Jan 9, 2014 to Mar 31, 2014
    • Discretionary RAUM · $133M to $100M
      Jan 9, 2014 to Mar 31, 2014
    • Non-discretionary RAUM · $845,000 to $0
      Jan 9, 2014 to Mar 31, 2014
    • RAUM · $134M to $100M
      Jan 9, 2014 to Mar 31, 2014
    • Advisory activities · 3 to 4
      Oct 3, 2013 to Jan 9, 2014
    • Advisory employees · 7 to 5
      Feb 8, 2013 to Mar 4, 2013
    • Advisory activities · 6 to 3
      Feb 8, 2013 to Mar 4, 2013
    • HQ city · NEW PORT RICHEY to BOGART
      Feb 8, 2013 to Mar 4, 2013
    • HQ state · FL to GA
      Feb 8, 2013 to Mar 4, 2013
    • State-registered IARs · 7 to 5
      Feb 8, 2013 to Mar 4, 2013
    • Related insurance company · true to false
      Feb 8, 2013 to Mar 4, 2013
    • Accounts · 201 to 171
      Mar 14, 2012 to Feb 8, 2013
    • Advisory employees · unset to 7.0
      Mar 14, 2012 to Feb 8, 2013
    • Employees · unset to 7.0
      Mar 14, 2012 to Feb 8, 2013
    • State-registered IARs · unset to 7.0
      Mar 14, 2012 to Feb 8, 2013
    • Discretionary RAUM · $101M to $133M
      Mar 14, 2012 to Feb 8, 2013
    • Non-discretionary RAUM · $0 to $845,000
      Mar 14, 2012 to Feb 8, 2013
    • RAUM · $101M to $134M
      Mar 14, 2012 to Feb 8, 2013
    • Accounts · 497 to 201
      Mar 14, 2012 to Mar 14, 2012
    • Discretionary RAUM · $102M to $101M
      Mar 14, 2012 to Mar 14, 2012
    • RAUM · $102M to $101M
      Mar 14, 2012 to Mar 14, 2012
    Signals
    1 dated events
    • T•••••••• C•••••• M••••••••• I•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Feb 9, 2015 · Succession (Item 4) · fact
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Provenance
    Form ADV
    SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
    Advisors
    IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
    Class
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026